RR
Richard J. Ruggieri
NAVY FEDERAL INVESTMENT SERVICES
Silverdale, WA 98383
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CRD#: 7357073
RR
Professional summary
Richard James Ruggieri is a registered financial advisor currently at NAVY FEDERAL INVESTMENT SERVICES, LLC located in Silverdale, Washington.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Richard has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 10/03/2022 - FIRST FEDERAL INVESTMENT SERVICES/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ BELLINGHAM, WA
CRS (Client Relationship Summary) - RIA
Click below to view Richard James Ruggieri's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard James Ruggieri's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 3, 2023 - Present
NAVY FEDERAL INVESTMENT SERVICES, LLC
Office #1: 3340 Nw Randall Way, Silverdale, WA 98383RIA
BD
CRD#: 138459
Silverdale, WA
Current
August 3, 2023 - Present
NAVY FEDERAL INVESTMENT SERVICES, LLC
Office #1: 3340 Nw Randall Way, Silverdale, WA 98383RIA
BD
CRD#: 138459
Silverdale, WA
Past
May 10, 2023 - July 31, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
BELLINGHAM, WA
Past
October 3, 2022 - July 31, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
BELLINGHAM, WA
Past
July 6, 2021 - October 4, 2022
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
Anacortes, WA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NF
NAVY FEDERAL INVESTMENT SERVICES, LLC
NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC
CRD#: 138459 / SEC#: 801-68067, 8-67161
RIA
Registered Investment Advisory firm - SEC (6/21/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(11/3/2023)
IAR
Alaska(11/3/2023)
RR
California(10/31/2023)
IAR
California(10/31/2023)
RR
Hawaii(11/1/2023)
IAR
Hawaii(11/1/2023)
RR
Idaho(11/1/2023)
IAR
Idaho(11/1/2023)
RR
Montana(11/1/2023)
IAR
Montana(11/1/2023)
RR
Oregon(11/16/2023)
IAR
Oregon(11/16/2023)
RR
Washington(8/3/2023)
IAR
Washington(8/3/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/6/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NF
NAVY FEDERAL INVESTMENT SERVICES, LLC
NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC
CRD#: 138459 / SEC#: 801-68067, 8-67161
RIA
Registered Investment Advisory firm - SEC (6/21/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1007 Electric Ave, Vienna, VA 22180
Mailing Address
1007 Electric Ave, Vienna, VA 22180
Phone number
(877) 221-8108
Established
Virginia since 09/06/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
176
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,472 |
| AUM (Assets Under Management) | $ 1,713,608,579 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
